[Code of Federal Regulations] [Title 37, Volume 1] [Revised as of July 1, 2002] From the U.S. Government Printing Office via GPO Access [CITE: 37CFR1.14] [Page 22-24] TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS DEPARTMENT OF COMMERCE PART 1--RULES OF PRACTICE IN PATENT CASES--Table of Contents Subpart A--General Provisions Sec. 1.14 Patent applications preserved in confidence. (a) Confidentiality of patent application information. Patent applications that have not been published under 35 U.S.C. 122(b) are generally preserved in confidence pursuant to 35 U.S.C. 122(a). Information concerning the filing, pendency, or subject matter of an application for patent, including status information, and access to the application, will only be given to the public as set forth in Sec. 1.11 or in this section. (1) Status information is: (i) Whether the application is pending, abandoned, or patented; (ii) Whether the application has been published under 35 U.S.C. 122(b); and (iii) The application ``numerical identifier'' which may be: (A) The eight-digit application number (the two-digit series code plus the six-digit serial number); or (B) The six-digit serial number plus any one of the filing date of the national application, the international filing date, or date of entry into the national stage. (2) Access is defined as providing the application file for review and copying of any material in the application file. (b) When status information may be supplied. Status information of an application may be supplied by the Office to the public if any of the following apply: (1) Access to the application is available pursuant to paragraph (e) of this section; (2) The application is referred to by its numerical identifier in a published patent document (e.g., a U.S. patent, a U.S. patent application publication, or an international application publication), or in a U.S. application open to public inspection (Sec. 1.11(b), or paragraph (e)(2)(i) or (e)(2)(ii) of this section); (3) The application is a published international application in which the United States of America has been indicated as a designated state; or [[Page 23]] (4) The application claims the benefit of the filing date of an application for which status information may be provided pursuant to paragraphs (b)(1) through (b)(3) of this section. (c) When copies may be supplied. A copy of an application-as-filed or a file wrapper and contents may be supplied by the Office to the public, subject to paragraph (i) of this section (which addresses international applications), if any of the following apply: (1) Application-as-filed. (i) If a U.S. patent application publication or patent incorporates by reference, or includes a specific reference under 35 U.S.C. 119(e) or 120 to, a pending or abandoned application, a copy of that application- as-filed may be provided to any person upon written request including the fee set forth in Sec. 1.19(b)(1); or (ii) If an international application, which designates the U.S. and which has been published in accordance with PCT Article 21(2), incorporates by reference or claims priority under PCT Article 8 to a pending or abandoned U.S. application, a copy of that application-as- filed may be provided to any person upon written request including a showing that the publication of the application in accordance with PCT Article 21(2) has occurred and that the U.S. was designated, and upon payment of the appropriate fee set forth in Sec. 1.19(b)(1). (2) File wrapper and contents. A copy of the specification, drawings, and all papers relating to the file of an abandoned or pending published application may be provided to any person upon written request, including the fee set forth in Sec. 1.19(b)(2). If a redacted copy of the application was used for the patent application publication, the copy of the specification, drawings, and papers may be limited to a redacted copy. (d) Power to inspect a pending or abandoned application. Access to an application may be provided to any person if the application file is available, and the application contains written authority (e.g., a power to inspect) granting access to such person. The written authority must be signed by: (1) An applicant; (2) An attorney or agent of record; (3) An authorized official of an assignee of record (made of record pursuant to Sec. 3.71 of this chapter); or (4) A registered attorney or agent named in the papers accompanying the application papers filed under Sec. 1.53 or the national stage documents filed under Sec. 1.495, if an executed oath or declaration pursuant to Sec. 1.63 or Sec. 1.497 has not been filed. (e) Public access to a pending or abandoned application. Access to an application may be provided to any person, subject to paragraph (i) of this section, if a written request for access is submitted, the application file is available, and any of the following apply: (1) The application is open to public inspection pursuant to Sec. 1.11(b); or (2) The application is abandoned, it is not within the file jacket of a pending application under Sec. 1.53(d), and it is referred to: (i) In a U.S. patent application publication or patent; (ii) In another U.S. application which is open to public inspection either pursuant to Sec. 1.11(b) or paragraph (e)(2)(i) of this section; or (iii) In an international application which designates the U.S. and is published in accordance with PCT Article 21(2). (f) Applications reported to Department of Energy. Applications for patents which appear to disclose, purport to disclose or do disclose inventions or discoveries relating to atomic energy are reported to the Department of Energy, which Department will be given access to the applications. Such reporting does not constitute a determination that the subject matter of each application so reported is in fact useful or is an invention or discovery, or that such application in fact discloses subject matter in categories specified by 42 U.S.C. 2181(c) and (d). (g) Decisions by the Commissioner or the Board of Patent Appeals and Interferences. Any decision by the Commissioner or the Board of Patent Appeals and Interferences which would not otherwise be open to public inspection may be published or made available for public inspection if: (1) The Commissioner believes the decision involves an interpretation of [[Page 24]] patent laws or regulations that would be of precedential value; and (2) The applicant, or a party involved in an interference for which a decision was rendered, is given notice and an opportunity to object in writing within two months on the ground that the decision discloses a trade secret or other confidential information. Any objection must identify the deletions in the text of the decision considered necessary to protect the information, or explain why the entire decision must be withheld from the public to protect such information. An applicant or party will be given time, not less than twenty days, to request reconsideration and seek court review before any portions of a decision are made public under this paragraph over his or her objection. (h) Publication pursuant to Sec. 1.47. Information as to the filing of an application will be published in the Official Gazette in accordance with Sec. 1.47(c). (i) International applications. (1) Copies of international application files for international applications which designate the U.S. and which have been published in accordance with PCT Article 21(2), or copies of a document in such application files, will be furnished in accordance with PCT Articles 30 and 38 and PCT Rules 94.2 and 94.3, upon written request including a showing that the publication of the application has occurred and that the U.S. was designated, and upon payment of the appropriate fee (see Sec. 1.19(b)(2) or 1.19(b)(3)), if: (i) With respect to the Home Copy, the international application was filed with the U.S. Receiving Office; (ii) With respect to the Search Copy, the U.S. acted as the International Searching Authority; or (iii) With respect to the Examination Copy, the United States acted as the International Preliminary Examining Authority, an International Preliminary Examination Report has issued, and the United States was elected. (2) A copy of an English language translation of an international application which has been filed in the United States Patent and Trademark Office pursuant to 35 U.S.C. 154(d)(4) will be furnished upon written request including a showing that the publication of the application in accordance with PCT Article 21(2) has occurred and that the U.S. was designated, and upon payment of the appropriate fee (Sec. 1.19(b)(2) or Sec. 1.19(b)(3)). (3) Access to international application files for international applications which designate the U.S. and which have been published in accordance with PCT Article 21(2), or copies of a document in such application files, will be furnished in accordance with PCT Articles 30 and 38 and PCT Rules 94.2 and 94.3, upon written request including a showing that the publication of the application has occurred and that the U.S. was designated. (4) In accordance with PCT Article 30, copies of an international application-as-filed under paragraph (c)(1) of this section will not be provided prior to the international publication of the application pursuant to PCT Article 21(2). (5) Access to international application files under paragraphs (e) and (i)(3) of this section will not be permitted with respect to the Examination Copy in accordance with PCT Article 38. (j) Access or copies in other circumstances. The Office, either sua sponte or on petition, may also provide access or copies of all or part of an application if necessary to carry out an Act of Congress or if warranted by other special circumstances. Any petition by a member of the public seeking access to, or copies of, all or part of any pending or abandoned application preserved in confidence pursuant to paragraph (a) of this section, or any related papers, must include: (1) The fee set forth in Sec. 1.17(h); and (2) A showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access to all or part of the application. [65 FR 54657, Sept. 8, 2000, as amended at 65 FR 57051, Sept. 20, 2000; 65 FR 78959, Dec. 18, 2000; 66 FR 67094, Dec. 28, 2001; 67 FR 523, Jan. 4, 2002] [[Page 25]]